This document includes:

1. Internal memo: Handover procedure in connection with staff changes

2. Internal regulation 2/03: Handover procedure in connection with staff changes
3. Checklist: Guideline questions for handover meetings and notes
4. Knowledge continuity following staff changes - Analysis of response to
questionnaire on handovers in connection with staff changes in the BMZ in 2002

-1Internal memo
Handover procedure in connection with staff changes
The enclosed internal regulation deals with the documented handover of jobs when
there is a change of staff. This provides a systematic basis for improving institutional
learning within the BMZ, something that will benefit both the ministry and individual
employees but has been lacking to date. It allows the BMZ greater productivity and
continuity in discharging its duties. It also provides valuable support to staff members
in tackling the special challenge of rapidly developing the skills needed when taking
on a new post.
The quality of the handover will depend in practice on the care each individual takes over it,
on the ideas they have and also on the time pressures they face when the changeover
occurs. The aim of the regulation is therefore to outline a handover procedure that allows the
relevant knowledge to be preserved without a disproportionate amount of working time being
taken up. Clearly, however, a good handover does require time, and this should be taken into
account when planning work.
The following notes on the internal regulation Handover procedure in connection with staff
changes begin with a description of the problem the regulation aims to address. Enclosed is
a checklist, containing suggestions on how to structure handover discussions and notes.
The problem being addressed
The need for a quality procedure for job handovers within the BMZ is made particularly
urgent by the fact that staff operate as all-rounders and frequently change jobs within the
ministry. The all-rounder principle means that individuals have to be able to familiarise
themselves rapidly with new subject areas. The faster this process of familiarisation can take
place, the faster they can become operational in their new job. Staff statistics from 2000 and
2001 show that over 70 people in the executive and professional grades alone change job
each year and must be familiarised with their new tasks. That is 20% of people working in
these civil service grades. Statistically, the entire staff of the BMZ moves round once every
five years. Handover procedures have, until now, varied widely and have not always done
enough to ensure that knowledge is preserved.
A further, systemic cause for the existing failings in knowledge continuity when there is a
change of staff is the frequency with which posts remain unfilled, thus preventing an oral
handover and making any written documentation outdated. The administrative unit of the
ministry is currently trying to tackle this issue and cut down the length of time for which posts
remain unfilled.

Notes on the internal regulation

The internal regulation on "handover procedure in connection with staff changes" intends to
remedy the current absence of a recognised procedure for job handovers. It establishes
minimum standards for the documentation of information specific to each job. It makes it
compulsory for people leaving a job to brief their successor both orally and using written
notes. It also requires superiors to allow sufficient time for the handover and to ensure that it
is of a sufficiently high quality. Knowledge continuity is a management function.
The most sustainable and effective form of handover is for the person leaving the job to
personally instruct their successor. Every effort should be made to facilitate this kind of
personal instruction, and the superior concerned should lend his or her support. Only a
personal discussion allows the new person to ask questions directly and it allows complex
situations to be explained more rapidly and in greater depth. If possible, the person leaving
the job should have the opportunity to familiarise the new person with the job over a period of
time, starting for example with a whole day and going on to appointments of a few hours at
longer intervals. This avoids any information overload at the beginning and allows questions
that subsequently arise to be answered.
The handover notes serve two purposes: if it is possible for the new person in the job to be
personally instructed by their predecessor, back-up documentation saves them from being
overloaded with information. If this has not been possible, however, the written
documentation must compensate as far as possible and deal with important information in
greater detail. The enclosed checklist sets out a number of key questions as guidance for
structuring the handover notes. These questions were taken from the numerous discussions
that took place within the ministry and formed into a certain structure. They should, however,
be regarded merely as a guide and should be adapted to the special requirements of each
post.
The regulation applies to all civil service grades. Given that staff in the executive and
professional grades change jobs comparatively often, however, the need there is particularly
great. The checklists suggestions on how to structure the handover therefore refer in
particular to those groups.

-2Internal regulation 2/03

Handover procedure in connection with staff changes
Handover procedure
1.

Before leaving a post, every member of staff shall prepare handover notes.
The notes should be structured in accordance with the enclosed checklist. The
structure may be adapted as appropriate for those in the clerical or manual
grades.

2.

Wherever possible, a handover meeting or, if appropriate, several meetings

should take place. In structuring these meetings, the checklist should be
taken as a guide.

Knowledge continuity as a management function

1.

Superiors shall ensure the quality of the handover notes by checking that they
are of the appropriate length, are factually accurate and are tailored to the
specific characteristics of the division concerned.

2.

Superiors shall create the necessary conditions for an appropriate handover

by instructing the member of staff to draw up the handover notes. Before
members of staff leaves, they shall be allowed the necessary time to draw up
the handover notes. Superiors shall also ensure that new members of staff
entering the division are able to conduct an adequate handover in their old
division.

This regulation comes into force with immediate effect.

Erich Stather

-3Checklist

Guideline questions for handover meetings and notes

The handover between a person leaving a job and his or her successor should be
structured in such a way as to cover the most important substantive aspects. The
guideline questions contained in this checklist aim to help you structure your
handover meetings and notes. The structure can be adapted in each case to the
particular features of the job.
1.

What strategically important processes are being dealt with at present?

The aim of this question is to prioritise tasks. In future, this should also be linked to agreed
performance objectives, which define the strategic objectives to be achieved within the foreseeable
future.

2.

What time-sensitive processes are to be dealt with and what should be the next
steps?

This question is aimed at putting current processes onto a time axis.

3.

What should your successor know about the most important procedures? What
tips can you offer?

By answering this question, you should enable your successor to deal with the most common
procedures and methods relevant for the job.

4.

What are the constraints that are typically encountered and what can be done?

Here, you should list the constraints that are often encountered both within the division and also with
the implementing organisations and other ministries.

5.

What sources of information are available?

In the handover meeting and handover notes, you should point the new person to the most important
sources of information.
5.1 Useful contacts and job-specific telephone book
These include both contacts within the BMZ itself and also in the implementing organisations and
representatives of German development co-operation within the partner countries; it includes contacts
in Germany, in the partner country, in other institutions or organisations etc. The job-specific telephone
book should contain the numbers of all relevant contacts and also a brief description of their function,
the kind of information they can supply and whether certain tasks can be delegated to them. The list of
telephone numbers should be stored in a standardised form on computer on the central server that
can be accessed by all members of the division; this allows anybody who is deputising for you to
access it as well.
As well as introducing your successor to their official duties, you should also give them access to your
own informal network of information. A personal handover is therefore very important, as there may be
some information you would prefer not to put down in writing. When BMZ staff who are being
seconded to an embassy abroad as development officers visit the country to find accommodation, they
should be introduced personally to all the most important contacts.
5.2 Ready reference files

Ready reference files are often stores of useful information that is worth preserving. If your successor
is to be able to use them, they should be well organised and whittled down to the most important
details. Since everybody has their own individual system for filing information, it is often useful to
explain it to the new person.
5.3 Electronic documents
Many documents are filed on computer. As with ready reference files, you should ensure that only the
most important documents are stored and are organised in a structured way.
5.4 Internet bookmarks
If you have bookmarked any internet sites that provide important information, make sure they are
clearly marked and pass them on to your successor (the IT division can provide you with technical
assistance). It is also important to write down passwords for any restricted access websites.
5.5 List of important documents
For all aspects of the job, there are key documents that contain information and are constantly referred
to. You should also give your successor a list briefly noting what these documents are.

6.

Information specific to the particular division or directorate-general

As a result of the way work is divided amongst the various directorates-general and divisions, each
one has its only particularly features. The staff working in these units know best what they are. The
following is not an exhaustive list but indicates what some of these specific pieces of information could
be. If you are in any doubt, feel free to add other pieces of information.
6.1 For the regional divisions

table of exchanges of notes

list of funding commitments
country folders: folders with important information on the co-operation countries being dealt with
report on the process of drawing up priority area strategies and country strategies

6.2 For divisions dealing with institutions

informal and formal aspects of procedures in the institutions concerned: decision-making

structures, clashes of interest, hidden agendas etc.

6.3 For sectoral divisions

current status of international negotiations/international agreements

Important information that is used regularly should be documented on a day-to-day basis as

work is being carried out. The advantages are that:
it makes it much easier for colleagues to deputise for you
less work is required in preparing a handover
documenting processes will help to structure work.
The following can be useful in this kind of continuous documentation: 1. (strategically
important processes); 5.1 (job-specific telephone book); 5.2 (ready reference files), 5.3
(electronic documents); 5.4 (bookmarks).

-4Knowledge continuity following staff changes

Analysis of response to questionnaire on handovers in connection with staff changes
in the BMZ in 2002
Summary:

The proportion of questionnaires returned (86%) shows the relevance of the

issue for staff and allows valid conclusions to be drawn.

In 2002, 45% of all members of staff who took on a new post within the BMZ
received no handover at all from their predecessor.

Handovers consisting of both discussions and handover notes were judged

to be particularly useful (with a mark of 1.41). The next best alternative was a
handover consisting of a discussion only (2.1) and in third place was a
handover consisting of only handover notes (2.3).

A handover is judged to be equally useful when posts have been vacant for
a long period of time (2.3), and indeed the average mark awarded by those
in desk officer posts was 1.8.

Conclusions: the findings that emerge from the staff questionnaire confirm
that introducing an obligatory handover procedure was the right decision.
The results of the survey will be compared with those from future surveys in
order to assess the effectiveness of the measure.

A survey was conducted among BMZ staff between 23 April and 9 May 2003 to poll
their experience of handover procedures. All those surveyed had taken on a new
post within the BMZ in 2002 and they asked about whether they had received
handover notes (question 1) or had handover discussions (question 2) and on how
useful they had found the handover (question 3).
Response
By 9 May, there had been a response of 86%, which shows the importance that is
attached to the issue and the degree of acceptance enjoyed by the questionnaire,
which had been designed so that it was quick to complete.
Table 1: Response from different groups

Division
heads
Questionnaire
1

11

Desk
officers

Assistant Adminis- Total

desk
trative
officers
staff
50
28
15
104

On a scale ranging from 1 (highest mark) to 5 (lowest mark).

s distributed
Questionnaire
s returned
Response in
%

11

45

24

89

100%

90%

86%

60%

86%

Findings
In response to question 1 (Did you receive handover notes?), 15% of those
surveyed said yes. The rate was highest with division heads (20%) and lowest with
administrative staff (11%). This means that, alarmingly, 85% of all those questioned
received no handover notes.
In response to question 2 (Did you have a handover discussion?), just over half
(51%) said yes. The percentage was much higher for division heads (80%) and at its
lowest for desk officers (43%). Thus, more than half of all desk officers (57%) began
work in their new post without having an introductory discussion with their
predecessor.
By combining the responses to questions 1 and 2 it can be seen that in a dismal
45% of cases, there were no handover notes or handover discussions. Only 7% of
those questioned were able to reply to yes to both questions. A tiny 4% received
handover notes without a handover discussion, whilst a somewhat more respectable
44% had a handover discussion but received no handover notes.
In employees assessment of the usefulness of the handover (question 3), the
highest marks were given in cases where there were both handover notes and a
handover discussion (average mark: 1.4), a scenario that was sadly relatively rare
(see above). In the 44% of cases in which at least a handover discussion had taken
place, the average mark given for the usefulness of the handover was 2.1. In the few
cases where there were handover notes but no handover discussion, the average
mark awarded was 2.5. Obviously, in the 45% cases in which no handover had taken
place whatsoever, no mark for usefulness could be awarded. In these cases,
however, many of those concerned had written such things as would have been a
great help in the space provided for comments.
The marks given for the usefulness of a handover in cases where posts had
been vacant for some time, which were derived from the combination of responses
to the follow-up question posed under question 2 and question 3, showed that a
handover was also felt to be useful in these cases. In cases where posts had not
remained vacant, the average mark for the usefulness of the handover was 2.1.
Where posts had remained vacant for over 4 weeks, the mark remained roughly the
same (2.3). Indeed, desk officers gave higher marks for usefulness in cases where
the post had remained vacant for some time before they arrived.

Table 2: Handover notes and discussions and their usefulness

Handover notes and

discussion
Average mark for

Head of
division

Desk
officer

20%

3%

1.5

1
7

Assistant Adminisdesk
trative
officer
staff
9%
11%
1

Total

7%
1.4

usefulness(1-5)
Handover discussion only
Average mark for
usefulness(1-5)

60%
2.7

40%
1.3

44%
2.3

45%
2.3

44%
2.1

Handover notes only

Average mark for
usefulness(1-5)

0%
0

5%
2

5%
3

0%
0

4%
2.5

Neither (!)

20%

53%

44%

45%

45%

Conclusions
Staff clearly feel that handover procedures are very useful in enabling them to
familiarise themselves rapidly with their job, especially if they are made up of a
combination of handover notes and a handover discussion. Internal regulation 2/03 of
21 May 2003 is therefore a step in the right direction. Repeating the survey in 2003
will reveal whether it has been possible to reduce the proportion of cases in which no
handover took place (45%).
Where posts remain vacant for a long period of time, the handover procedure
becomes less effective. The longer a post remains vacant, the less likelihood there is
of a handover taking place. In these cases, the handover is also more likely to be in
the form of handover notes, which is the least effective form. Even in such less than
perfect cases, it was confirmed that a handover was useful.
Holger Illi